Great Point Capital LLC

04/06/2026: From January 2018 through the present, Great Point violated FINRA Rules 3110 and 2010 by failing to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with rules prohibiting manipulative trading. Separately, from May 2019 to February 2022, Great Point violated FINRA Rules 3110 and 2010 by failing to reasonably supervise a registered representative's email communications to customers about investment opportunities that contained misleading, unwarranted, exaggerated, or promissory statements, and by failing to reasonably enforce its procedures for supervisory review of such communications. For these violations, Great Point is censured, fined $250,000, and has agreed to an undertaking.

Reference 2019064531501data-portal.finra.orgfinra.org

06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090181584-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great Point Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great Point Capital LLC, (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2009018158401data-portal.finra.orgfinra.org

12/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Great Point Capital LLC (CRD No. 114203), and Michael Scott Olson (CRD No. 3021448), Respondents. Disciplinary Proceeding No. 20080148227-02 LLC Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT December 11, 2015 INTRODUCTION Disciplinary Proceeding No. 20080148227-02 was filed on September 26, 2014, by the Department of Market Regulation of the Financial Industry Regulatory Authority

09/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Great Point Capital LLC (CRD No. 114203), Lawrence R. Kajmowicz (CRD No. 4637591), Ben James Raatz (CRD No. 4637287), and Michael Scott Olson (CRD No. 3021448), Respondents. Disciplinary Proceeding No. 20080148227-02 COMPLAINT The Department of Market Regulation ("Market Regulation") alleges: STATEMENT OF FACTS 1. Great Point Capital LLC, a FINRA member (CRD No. 114203), derives revenues

Reference 2008014822702data-portal.finra.orgdata-portal.finra.orgfinra.org

03/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051933501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Great Point Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great Point Capital LLC, (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2016051933501finra.orgdata-portal.finra.org

02/27/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001741-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great Point Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Great Point Capital LLC (the "firm" or "Great Point") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2005000174101data-portal.finra.orgfinra.org

03/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060050531-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great Point Capital LLC (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2006005053101data-portal.finra.orgfinra.org

12/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2030386301-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great Point Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great Point Capital LLC (''Great Point" or the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013038630101data-portal.finra.orgfinra.org

04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060051571-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Great Point Capital LLC, Respondent Broker-Dealer CRD No. 114203 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Great Point Capital LLC (the "firm" or "Great Point") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2006005157102data-portal.finra.orgfinra.org